COLLINS CAPITAL ADVISORS, LLC

BUSINESS CONTINUITY SUMMARY STATEMENT

Collins Capital Advisors, LLC has developed a Business Continuity Plan regarding how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us - If after a significant business disruption you cannot contact us as you usually do at gregory.clapp@collins.com or (212) 292-7693, you should call our alternative number at (914) 413-2321.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients and investors to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

We back up important records with a third party data archive provider. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by Iron Mountain that its objective is to restore its own operations and be able to restore all existing data within one business day. Your communications with us may be disrupted until such time as our data is restored.

Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect recovery and resumption to be completed by the close of business on the business day following an event . In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and expect recovery and resumption to be completed by the close of business on the business day following an event. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our alternative number how to contact us.

For more information - If you have questions about our business continuity planning, you can contact us at (212) 292-7693 or gregory.clapp@collins.com.